Kosta P Velis, CFP | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kosta P Velis, CFP®, who also goes by Kosta Velis, Konstantin P Veliskakis Mr, Konstantin P Veliskakis, was a registered financial professional .

Kosta is a previously registered financial professional and started their career in finance in 1994. Kosta had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Kosta Velis | Konstantin P Veliskakis Mr | Konstantin P Veliskakis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

February 4, 2019 - July 12, 2019

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Sebastian, FL

Past

November 16, 2016 - May 19, 2017

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

RIA

CRD#: 152104

MIAMI, FL

Past

February 1, 2016 - September 1, 2016

STOEVER GLASS WEALTH MANAGEMENT, INC.

RIA

CRD#: 173091

NEW YORK, NY

Past

November 25, 2015 - August 31, 2016

STOEVER, GLASS & COMPANY INC.

BD

CRD#: 7031

Boca Raton, FL

Past

May 28, 2015 - September 29, 2015

BB&T SECURITIES, LLC

RIA

CRD#: 142785

Dallas, TX

Past

May 19, 2015 - September 29, 2015

BB&T SECURITIES, LLC

BD

CRD#: 142785

Dallas, TX

Past

April 28, 2014 - May 27, 2015

STOEVER, GLASS & COMPANY INC.

BD

CRD#: 7031

NEW YORK, NY

Past

May 24, 2013 - July 26, 2013

METHOD ENTERPRISE ADVISORS LLC

BD

CRD#: 164440

ALPHARETTA, GA

Past

April 16, 2013 - January 6, 2014

METHOD ENTERPRISES, LLC

RIA

CRD#: 159704

ALPHARETTA, GA

Past

December 11, 2012 - March 14, 2013

EDWARD JONES

RIA

CRD#: 250

ST. LOUIS, MO

Past

December 10, 2012 - March 14, 2013

EDWARD JONES

BD

CRD#: 250

ST. LOUIS, MO

Past

January 4, 2012 - December 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

THE WOODLANDS, TX

Past

January 4, 2012 - December 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

THE WOODLANDS, TX

Past

June 1, 2009 - February 9, 2011

MORGAN STANLEY

RIA

CRD#: 149777

NEW ORLEANS, LA

Past

June 1, 2009 - February 9, 2011

MORGAN STANLEY

BD

CRD#: 149777

NEW ORLEANS, LA

Past

September 8, 1999 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BATON ROUGE, LA

Past

August 20, 1999 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

BATON ROUGE, LA

Past

August 9, 1994 - September 2, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 8/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 10/13/2000

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 8/8/1994

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 23

Date: 5/28/2013

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

RR

Series 10

Date: 6/27/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 6/23/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kosta P. Velis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

STOEVER GLASS WEALTH MANAGEMENT, INC.

STOEVER, GLASS & COMPANY INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

STOEVER, GLASS & COMPANY INC.

METHOD ENTERPRISE ADVISORS LLC

METHOD ENTERPRISES, LLC

EDWARD JONES

EDWARD JONES

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1994

Series 63

Date: 8/12/1994

SIE

Date: 8/31/2016

Series 3

Date: 10/13/2000

Series 7

Date: 8/8/1994

Series 23

Date: 5/28/2013

Series 10

Date: 6/27/2000

Series 9

Date: 6/23/2000

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

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